Job description
Kestra Financial is a wealth management platform dedicated to empowering independent financial professionals—including traditional and hybrid RIAs—to grow their businesses and deliver exceptional client service. We combine advanced business management technology with personalized consulting to provide unmatched scale, efficiency, and support. Our advisor-focused culture is built on innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clients
Lead with Purpose. Partner with Impact. As a member of a supervisory team, a Supervisory Principal maintains Kestra’s compliance with firm/regulatory rules and policies as it pertains to the activities of Registered Representatives/Investment Advisor Representatives. The Supervisory Principal will work remotely within a Home Office based Supervision department, along with other Supervision staff within an assigned Service Team. This position reports to the Manager of Trade Supervision.
What You’ll Do:
Coordinates trade and new account supervision for Registered Representatives/Investment Advisor Representatives within a designated Kestra service team in conjunction with other members of a supervisory team.
Review broker/dealer trade activity in Protegent
Review new accounts for suitability and best interest
Approve compliance disclosures submitted by registered representatives
Responsible for the supervisory review of written and electronic correspondence.
Conduct field office training as needed
Have excellent understanding of compliance topics and investment products
Other duties as agreed with the Designated Supervisor, or as assigned by Management
What You Bring:
Bachelor's degree and / or 5-7 years industry experience, most recently compliance experience, sales management, and/or risk management
Excellent organizational skills and strong attention to detail
Strong communication, conflict resolution and presentation skills
The qualified candidate will work in a collaborative team environment but be individually responsible for individual results
Proficient with Windows applications such as Word, Excel and Outlook.
Familiarity with paperless office concept, document scanning and contact management software.
Certifications, Licenses, Registrations:
Series 7, 24 or 9/10, and 66 or 63/65 required
Series 53, 24 if 9/10 only, required within 3 months of hire
Series 4, Life and Health Insurance licenses a plus, but not required
Internal Application Policy:
Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.
Benefits to support you:
Competitive pay and benefits with a large employer (over 1600 employees nationwide)
401(k), health insurance, and a competitive benefits package
Work in a supportive, collaborative environment committed to professional excellence
Help clients navigate meaningful financial decisions with confidence
Opportunities for training, development, and long-term growth within the firm
Tuition reimbursement for qualified expenses
Kestra Values:
Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: Serve, Make it Happen, and One team. Explore Life at Kestra Kestra Holdings Website: Careers Portal: LinkedIn: Apply Today Lead with purpose. Apply now and help shape the future of Kestra. Disclosure By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements:
You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment.
It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.
Originally posted on Himalayas
Who can apply
Eligible countries: United States. Accepted UTC offsets: UTC-10, UTC-9, UTC-8, UTC-7, UTC-6, UTC-5, UTC+14. Review the full description for employer-specific work authorization, residency and schedule requirements.